Compliance: Difference between revisions
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One employed in the [[compliance]] department (as distinct the [[mediocre lawyer|legal department]]) so not, strictly speaking, a professional at all (but constantly at pains to call {{sex|herself}} one, the same way that real estate agents and financial advisors do). | One employed in the [[compliance]] department (as distinct the [[mediocre lawyer|legal department]]) so not, strictly speaking, a professional at all (but constantly at pains to call {{sex|herself}} one, the same way that real estate agents and financial advisors do). In the ''[[Harry Potter]] argot, a [[mudblood]]<ref>Don’t forget, this is a pejorative term for someone who nonetheless may have ninja legal skills: [[Hermione Grainger]] was a [[mudblood]], after all.</ref>. | ||
{{Legal and compliance}} | {{Legal and compliance}} | ||
{{dramatis personae}} | {{dramatis personae}} | ||
Revision as of 13:45, 3 January 2019
One employed in the compliance department (as distinct the legal department) so not, strictly speaking, a professional at all (but constantly at pains to call herself one, the same way that real estate agents and financial advisors do). In the Harry Potter argot, a mudblood[1].
Legal and compliance
Just what the difference is in function is between the legal, compliance and legal and compliance departments could occupy a corpulent volume.
Dramatis personae: CEO | CFO | Client | Employees: Divers · Excuse pre-loaders · Survivors · Contractors · The Muppet Show | Middle management: COO · Consultant · MBA | Controllers: Financial reporting | Risk | Credit | Operations | IT | Legal: GC · Inhouse counsel · Docs unit · Litigator · Tax lawyer · US attorney Lawyer | Front office: Trading | Structuring | Sales |
- ↑ Don’t forget, this is a pejorative term for someone who nonetheless may have ninja legal skills: Hermione Grainger was a mudblood, after all.